Introduction To Compliance

This course aims to provide you with a broad understanding of the role of compliance in financial

institutions and introduce you to the common issues in the space of regulatory and financial

compliance.

Course topics include understanding the financial services sector, the role of compliance within

financial institutions, the financial regulatory environment and requirements, compliance risks,

anti-money laundering risks, and the importance of well-designed and effective control

mechanisms. The course will also explore the impact of financial technology (FINTech) and

regulatory technology (REGTech) advancements on the compliance landscape.

This course is accredited by the Institute of Banking and Finance (IBF) and students who obtain an overall score of B and above will be accredited for IBF?s Level 1 Compliance Standards.